本文選題：WTO + 貿(mào)易自由化��； 參考：《湖南師范大學(xué)》2012年博士論文

【摘要】：旨在平衡自由貿(mào)易與公共道德之關(guān)系的WTO“公共道德例外”條款,寥寥數(shù)十字的規(guī)則卻在沉寂了半個(gè)多世紀(jì)之后成為貿(mào)易各方關(guān)注的焦點(diǎn)。這是因?yàn)閃TO規(guī)則肩負(fù)著雙重使命：一方面強(qiáng)調(diào)成員方必須堅(jiān)持自由貿(mào)易與公平貿(mào)易；另一方面又強(qiáng)調(diào)在成員方的公共道德已經(jīng)受到或可能受到自由貿(mào)易損害時(shí),則有權(quán)采取貿(mào)易限制措施。但問(wèn)題的關(guān)鍵是：如何平衡協(xié)調(diào)此二者的關(guān)系?換言之,如何使得貿(mào)易各方在保護(hù)公共道德時(shí),不致濫用權(quán)利而變相推行貿(mào)易保護(hù)主義?實(shí)踐表明,WTO“公共道德例外”條款因表述簡(jiǎn)潔(允許各國(guó)采取“必要的保護(hù)公共道德”的貿(mào)易措施)而頗具爭(zhēng)議性,以致成員方之間和DSB歷任專家至今未能達(dá)成一致解釋。這就為后續(xù)研究留下了諸多思考探討的空間。 本文分為引論、本論和結(jié)語(yǔ)三個(gè)部分。其中,“本論”共分六章展開(kāi)論述。 為使后文的論述存在話語(yǔ)背景及探討基礎(chǔ),本文第一章主要介紹了WTO“公共道德例外”條款的概念、特征、法理基礎(chǔ)及制定情況。 考慮到“公共道德”的內(nèi)涵解讀是正確理解和援用WTO“公共道德例外”條款的關(guān)鍵,因而本文的第二章專門(mén)探討了該條款的解釋問(wèn)題。在WTO規(guī)則體系內(nèi),由“模糊條款”導(dǎo)致的爭(zhēng)端需要由DSB來(lái)進(jìn)行解釋澄清。這一行為的法律依據(jù)就是《維也納條約法公約》和實(shí)際遵循的DSB裁決“先例”。DSB采用的解釋方法主要包括客觀解釋方法、有效解釋方法和動(dòng)態(tài)解釋方法等。但問(wèn)題是,即便存在這些法律依據(jù)和解釋方法,DSB也不曾清楚地闡釋“公共道德”的內(nèi)涵。在“美國(guó)博彩案”與“中美出版物市場(chǎng)準(zhǔn)入案”中,DSB也未過(guò)多闡釋“公共道德”的內(nèi)涵,只是傾向于認(rèn)同成員方在界定“公共道德”方面的一定自主權(quán)。從對(duì)成員方關(guān)于“公共道德”的立法和司法實(shí)踐看,他們對(duì)其內(nèi)涵及概念并未形成一致,盡管可能基于地域、歷史、文化或政治等原因而形成了一些區(qū)域性的共識(shí)。 此外,鑒于GATS第14條(a)款“公共道德和公共秩序例外’條款中增加了“公共秩序”術(shù)語(yǔ),因而本章有必要對(duì)“公共道德”和“公共秩序”稍加論述,并將其描述為“兩個(gè)不同但有重疊”的概念。 毋庸置疑,作為法律規(guī)則之一,“公共道德例外”條款的援用必須符合一定條件,即：違背WTO其他規(guī)則、符合必要性原則、滿足GATT序言宗旨。本文的第三章主要討論了WTO“公共道德例外”條款的適用條件。針對(duì)各項(xiàng)條件之間適用的先后順序、必要性要件和序言要求,本章考察了它們各自的要素及其形成的歷史,結(jié)合判例實(shí)證分析了各項(xiàng)條件的具體適用情況并歸結(jié)出其對(duì)例外條款適用條件的發(fā)展：“磋商和談判”不再是必要性檢驗(yàn)的替代措施；必要性檢驗(yàn)中替代措施的舉證責(zé)任由被投訴方轉(zhuǎn)移至投訴方。這些發(fā)展對(duì)于衡平貿(mào)易自由與公共道德之關(guān)系顯然有益。 有鑒于WTO“公共道德例外”條款并未規(guī)定其適用的范圍,本文第四章從橫向與縱向兩個(gè)層面探討了“公共道德例外”條款的適用范圍。在橫向?qū)用?探討了“公共道德例外”條款能否在協(xié)定外適用的問(wèn)題。從“中美出版物市場(chǎng)準(zhǔn)入案”來(lái)看,GATT第20條的適用范圍就已經(jīng)擴(kuò)展至GATT之外,即適用于入世文件。從遵循先例的角度看,“公共道德例外”條款的適用范圍還可能繼續(xù)擴(kuò)展至其他WTO協(xié)議文件上。在縱向?qū)用?針對(duì)“公共道德例外”條款能否適用于域外(措施實(shí)施國(guó)之境外)的問(wèn)題,傳統(tǒng)理論認(rèn)為,該條款的初衷是旨在保護(hù)成員方境內(nèi)的公共道德,而隨著公共道德內(nèi)涵的不斷涵攝進(jìn)包含人權(quán)、勞工標(biāo)準(zhǔn)、動(dòng)物福利等在內(nèi)的因素,一些主要WTO成員(如美國(guó))為保護(hù)他國(guó)的公共道德而紛紛制定了貿(mào)易限制措施。但無(wú)論如何,為防止該條款被濫用,本文主張,依據(jù)國(guó)際法關(guān)于管轄權(quán)原則的一般規(guī)定,只有在一國(guó)實(shí)施了違反國(guó)際強(qiáng)行法的行為時(shí),才可能將“公共道德例外”條款適用于該國(guó)。 立足于WTO“公共道德例外”條款的適用現(xiàn)狀,第五章主要就其適用前景進(jìn)行了展望。該條款已漸成關(guān)注“熱點(diǎn)”,中國(guó)等發(fā)展中國(guó)家也開(kāi)始積極援用一般例外條款進(jìn)行自我保護(hù)；DSB也致力于公共道德與貿(mào)易權(quán)利之間的平衡努力。從一定程度上講,這些即是WTO“公共道德例外”條款的適用現(xiàn)狀。 更為重要的是,隨著世界貿(mào)易的迅猛發(fā)展,“公共道德例外”條款將呈現(xiàn)出三大發(fā)展趨勢(shì)：其一,該條款將被大量援用；其二,公共道德的內(nèi)涵將進(jìn)一步擴(kuò)展并囊括進(jìn)有限人權(quán)(包括人權(quán)、勞工權(quán)益等)；其三,在平衡貿(mào)易自由與公共道德的努力中,DSB仍將起主導(dǎo)作用。為了維護(hù)好各國(guó)保護(hù)公共道德的訴求和有效防止該條款被濫用,DSB一方面應(yīng)謹(jǐn)慎引導(dǎo)公共道德內(nèi)涵的擴(kuò)展趨勢(shì),另一方面要適度運(yùn)用“公共道德例外”條款的適用條件 鑒于針對(duì)中國(guó)的投訴逐年上升的趨勢(shì),要切實(shí)維護(hù)好中國(guó)的貿(mào)易利益,中國(guó)政府和學(xué)者必須加強(qiáng)對(duì)WTO“公共道德例外”條款的研究。針對(duì)“中美出版物市場(chǎng)準(zhǔn)入案”暴露出的主要問(wèn)題,如立法存在漏洞和舉證存在不足等,本文第六章提出了一些完善相關(guān)立法、培養(yǎng)WTO訴訟人才等方面的建議。
[Abstract]:The WTO "public moral exception", which aims to balance the relationship between free trade and public morality, has been the focus of trade parties after more than half a century. This is due to the dual mission of the WTO rules: on the one hand, the member Fang Bi must insist on free trade and fair trade; the other is the other. The key to the question is: how to balance and coordinate the relationship between these two parties? In other words, how to make trade protectionism be implemented by all trade parties in protecting public morality from abuse of rights? The practice shows that the WTO "public moral exception" clause is quite controversial because of its conciseness (allowing countries to take "necessary protection of public morality"), so that members of Fang Zhijian and DSB have not been able to reach a consensus. This has left a lot of space for further research.
This article is divided into three parts: introduction, theory and conclusion. The "theory" is divided into six chapters.
In order to make the discourse background and the basis of discussion, the first chapter introduces the concept, characteristics, legal basis and formulation of the WTO "public moral exception" clause.
Considering that the interpretation of "public morality" is the key to correctly understanding and invoking the WTO "public moral exception" clause, the second chapter of this article specializes in the interpretation of the clause. In the WTO rule system, the dispute caused by "fuzzy clause" needs to be explained and clarified by DSB. The legal basis of this act is < The interpretation methods adopted by the Vienna Convention on the law of treaties and the "precedent" of the DSB award, which is actually followed, mainly include the objective interpretation method, the effective interpretation method and the dynamic interpretation method, but the problem is that even if these legal basis and interpretation methods exist, DSB has not clearly explained the connotation of "public morality". In the case of China and the United States publications market access, DSB has not too much interpretation of the connotation of "public morality", but is inclined to identify the certain autonomy of the members in defining "public morality". Regional consensus can be formed based on geographical, historical, cultural or political reasons.
In addition, in view of the addition of the term "public order" in the "public morality and public order exceptions" clause in the fourteenth article of GATS (a), it is necessary for this chapter to briefly discuss "public morality" and "public order" and describe it as "two different but overlapping" concepts.
There is no doubt that as one of the rules of law, the use of the "public moral exception" clause must meet certain conditions, that is, contrary to the other rules of WTO, conforming to the principle of necessity and satisfying the tenet of the GATT preface. The third chapter of this article mainly discusses the application conditions of the "public moral exception" clause in WTO. In order, necessary elements and preface requirements, this chapter examines their respective elements and the history of their formation, analyses the specific application of the conditions and sums up the development of the conditions applicable to the exceptions: "consultation and negotiation" is no longer a substitute for the necessary inspection; The burden of proof is transferred from the respondent to the complainant. These developments are obviously beneficial to the relationship between trade freedom and public morality.
In view of the fact that the WTO "public moral exception" clause does not specify the scope of its application, the fourth chapter discusses the scope of the application of the "public morality exception" clause from two horizontal and vertical levels. In the horizontal level, the question whether the "public morality exception" clause is suitable for the outside of the agreement is discussed. "See, the scope of the application of the GATT twentieth is extended beyond GATT, which is suitable for the entry of WTO documents. From the point of view of following the precedent, the scope of the application of the" public moral exception "clause may continue to extend to the other WTO documents. The traditional theory holds that the purpose of the clause is to protect the public morality within the territory of the member, and as the connotation of the public morality is constantly taken into account, such as human rights, labour standards, animal welfare, and other factors, some major WTO members (such as the United States) have set up a trade limit for the protection of the public morality of his country. However, in any case, in order to prevent this clause from being abused, this article argues that, in accordance with the general provisions of international law on the principle of jurisdiction, it is possible to apply the "public moral exception" clause to the country only when a state has carried out a violation of the international law of force.
Based on the application of the WTO "public moral exception" clause, the fifth chapter focuses on the prospect of its application. This clause has gradually become a focus of attention, and China and other developing countries have also started to actively use the general exception clauses to protect themselves; DSB is also committed to the balance between public morality and trade rights. To a certain extent, these are the application of WTO's "public moral exception" clause.
More importantly, with the rapid development of world trade, the "public moral exception" clause will present three major trends: first, the clause will be widely used; secondly, the connotation of public morality will be further expanded and included in the limited human rights (including human rights, labor rights and interests, etc.); thirdly, the balance of trade freedom and public morality In the effort, DSB will still play a leading role. In order to maintain the demands of the public morality and prevent the abuse of this clause effectively, DSB should cautiously guide the expansion of the connotation of public morality on the one hand, and on the other hand, apply the conditions of the "public moral exception" clause appropriately.
In view of the rising trend of China's complaints, in order to effectively safeguard China's trade interests, the Chinese government and scholars must strengthen the study of the "public moral exception" clause of WTO. The main problems exposed in the "China US publications market access case", such as the shortcomings of the loopholes in legislation and the lack of evidence, are mentioned in the sixth chapter. Some suggestions on improving relevant legislation and cultivating WTO litigation talents were put forward.

【學(xué)位授予單位】：湖南師范大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2012
【分類號(hào)】：D996.1

【引證文獻(xiàn)】

相關(guān)碩士學(xué)位論文 前1條

1 崔晨;WTO框架下的電影貿(mào)易問(wèn)題研究[D];山東大學(xué);2013年

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本文編號(hào)：1774512